30 October 2015 - Complyport UK Consultancy Service

Extension of Senior Managers Regime and Certification Regime

Firms should be aware that on 15 October HM Treasury issued a policy paper advising that: the Government considers it appropriate to extend the Senior Managers Regime (SMR) and the […] [...]

Regulatory References

In its current format the FCA Handbook (SUP 10A.15) addresses a firm’s obligation to provide “all relevant information” regarding an ex (or soon to be ex) employee when requested by […] [...]

SYSC 18 promotes, in the sense that it contains guidance rather than rules, the use of the Public Disclosure Act 1998 in making protected disclosures (‘whistleblowing’). SYSC 18.2.2 specifically encourages […] [...]

AIFMD Passport Extension: Second Round

It will be recalled that in July ESMA published its advice (2015/1236) on the application of the AIFMD passport to non-EEA AIFMs and AIFs. At the time ESMA only issued […] [...]

AML: UK Risk Management

HM Treasury has published the first money laundering and terrorist financing (AML/CTF) national risk assessment (NRA). It may be recalled that earlier this year it published a supervision report on […] [...]

Disclosure Requirements

The FCA’s commitment to create a sustainable regulatory framework – and recognition that overloading consumers with information that may be complex and poorly presented can lead to people making poor […] [...]

UCITS V: HM Treasury Consultation

In September the FCA published it consultation paper (CP 15/27) on the implementation of UCITS V – see Regulatory Roundup 68 for further details. HM Treasury has now published a […] [...]

Money Laundering: Due Diligence Risk Factors

Under Article 17 (‘simplified due diligence’) and Article 18(4) (‘enhanced due diligence’) of the fourth Money Laundering Directive (2015/849), the European Supervisory Authorities (ESAs) are required to issue guidelines to […] [...]

Common Reporting Standards: FATCA

The International Tax Compliance Regulations 2015 (SI 2015/878) came into force in April this year which capture: The OECD’s Common Reporting Standards (CRS) The Directive on Administrative Cooperation (DAC) (2011/16) […] [...]

Day: 30 October 2015

Extension of Senior Managers Regime and Certification Regime

Regulatory References

Whistleblowing

AIFMD Passport Extension: Second Round

AML: UK Risk Management

Disclosure Requirements

UCITS V: HM Treasury Consultation

Money Laundering: Due Diligence Risk Factors

Common Reporting Standards: FATCA

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